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Assistant General Counsel, Broker-Dealer Regulatory and Investment Advisory for a major financial services company. Position can be based in California or Texas.
Our client distributes variable annuities and mutual funds to retirement funds; 1000+ reps on staff.
5+ years of strong broker-dealer regulatory experience preferred; investment advisory background a plus.
High visibility role in a small group, be #2 of 3. Competitive compensation. Strong company. Nice boss. Promotion Potential. Paid relocation.
Provide strategic and tactical legal advice and transaction support on a wide variety of broker-dealer and investment advisory issues.
Provide proactive and timely risk assessments and status updates of regulatory matters for executive management. Participate in regulatory examinations and prepare responses for inquiries relating to broker-dealer/investment advisory processes, procedures and transactions.
Assist in drafting and updating of Form ADV disclosure brochures.
Participate in the review of written complaints to determine if any required regulatory filings are necessary (including U4/U5 disclosures and 4530 event filings) and assisting Compliance professionals with those filings.
Review vendor, product sponsor, sales/marketing materials and client forms and agreements.
Assist in the review and consideration of new products, programs and services offered by the broker-dealer and investment advisory businesses.
Draft and/or review supervisory procedures and compliance policies and procedures.
5+ years of securities regulatory experience; prior employment with a federal, state or SRO securities regulator a plus.
Experience working with investment advisory programs; understanding of investment advisory fiduciary responsibilities and appropriate disclosure of conflicts of interest.
Knowledge and familiarity with the Investment Advisers and Investment Company Acts of 1940, the Securities Exchange Act of 1934, and SEC and FINRA regulations applicable to each. Experience handing regulatory exams and investigations.
For consideration by Andrea Steiner & Joel Berger, for this and other Meridian opportunities, please send your resume in confidence to: firstname.lastname@example.org
Employer will assist with relocation costs.
Internal Number: BDR696
About Meridian Legal Search
Meridian Legal Search is a legal staffing organization specializing in the search, recruitment and placement of attorneys, paralegals and compliance professionals for the nation's leading financial institutions, insurance companies, pharmaceutical companies, law firms, Fortune 500 companies and other major corporations. Meridian was first established in 1936, and has successfully been placing attorneys more than 40 years now. Meridian's clients include corporations (public and private), law firms (large, medium and boutique) and Fortune 1000 and global financial services corporations. We place partners, counsels and associates; general counsel, associate counsel, staff attorneys and paralegals in corporate finance, litigation, securities/compliance, investment banking, investment management, banking, private equity, venture capital, mutual funds, hedge funds, broker dealer, insurance, intellectual property, media, entertainment, information technology, pharmaceutical and many other industries. Our clients are located throughout the United States and overseas. All communication and correspondence with candidates is treated confidentially, and candidate resumes are submitted to clie...nts only upon receiving the candidate's prior express permission to do so. Other services we offer include counseling law firms and corporations on hiring strategies and compensation packages, law firm mergers and diversity hiring programs. We have a state of the art, advanced computer database of 100,000 attorneys and 9,000 law firms, corporations and not-for-profits. Additionally, Meridian Legal Temps, Inc. is a division of Meridian Legal Search. Placements include temporary and temp-to-perm attorneys and paralegals at all levels and in a wide range of practice areas.Meridian Legal Search is a founding member of the National Association of Legal Search Consultants (NALSC) and adheres to the NALSC Code of Ethics.